Withdrawal and settlement procedures

Under 1984.111(a), a complainant may not withdraw the complaint after objections to the Assistant Secretary's findings and/or preliminary order have been filed.

• The complainant may withdraw before objections are filed by notifying the Assistant Secretary either orally or in writing, but once objections are filed withdrawal is prohibited.
• If a complainant tries to withdraw after objections are filed, the rule explicitly bars that withdrawal and the process continues under the adjudicatory procedures.

Under 1984.111(a), the Assistant Secretary must determine whether to approve the complainant's requested withdrawal and will confirm the complainant's intent in writing.

• The regulation requires that the Assistant Secretary review and decide whether to accept the withdrawal; approval is not automatic.
• If approved, the Assistant Secretary will notify the parties and their counsel of the approval in writing.

Under 1984.111(a), a complainant may notify the Assistant Secretary of withdrawal either orally or in writing, and the Assistant Secretary will then confirm the complainant's desire to withdraw in writing and decide whether to approve it.

• Oral withdrawal is allowed but must be followed by the Assistant Secretary’s written confirmation of the complainant’s intent.
• After confirmation, the Assistant Secretary will determine approval and notify the parties (and counsel if represented) if the withdrawal is approved.

Under 1984.111(a) and 1984.111(d), any withdrawal that occurs because of settlement must be submitted for approval in accordance with paragraph (d).

• Investigative or adjudicatory settlement procedures in 1984.111(d) apply depending on the stage of the case.
• Failure to submit the settlement for the required approval could prevent the withdrawal from being accepted and the settlement from becoming a final order.

Under 1984.111(b), the Assistant Secretary may withdraw findings and/or a preliminary order and substitute new findings and/or a new preliminary order before the 30-day objection period expires, provided no objection has yet been filed; receipt of the substituted findings restarts a new 30-day objection period.

• This means the timeline for filing objections can be extended if the Assistant Secretary issues substituted findings or an order.
• The authority to substitute allows correction or revision before objections are filed, but substitution cannot occur after an objection is already on file.

Under 1984.111(c), a party may withdraw objections to the Assistant Secretary's findings and/or order at any time before those findings and/or order become final by filing a written withdrawal with the Administrative Law Judge (ALJ), and the ALJ will decide whether to approve that withdrawal.

• If the ALJ approves the withdrawal and there are no other pending objections, the Assistant Secretary’s findings and/or order become the final order of the Secretary.
• The withdrawal must be in writing and submitted to the ALJ to begin this approval process.

Under 1984.111(c), a party may withdraw a petition for review of an ALJ’s decision at any time before that decision becomes final by filing a written withdrawal with the Administrative Review Board (ARB), and the ARB will determine whether to approve the withdrawal.

• If the ARB approves the withdrawal and no other petitions for review are pending, the ALJ’s decision will become the final order of the Secretary.
• The withdrawal must be filed in writing with the ARB to be effective.

Under 1984.111(c), if the ALJ approves a request to withdraw objections but other objections are still pending, the Assistant Secretary's findings and/or order do not automatically become final until all objections are resolved or withdrawn.

• The Assistant Secretary’s findings and/or order become final only when there are no other pending objections after approved withdrawals.
• Parties should confirm the status of any other objections before relying on the order becoming final.

Under 1984.111(d)(1), an investigative settlement is a settlement reached after the filing of a complaint but before the Assistant Secretary’s findings and/or order are objected to or become final, and it may be used when OSHA, the complainant, and the respondent all agree to the settlement.

• OSHA’s approval of a settlement between complainant and respondent demonstrates OSHA’s consent and completes the settlement among all three parties.
• Investigative settlements are appropriate while the matter remains in the investigative phase and no formal objections have been filed.

Under 1984.111(d)(2), an adjudicatory settlement is a settlement reached after objections to the Assistant Secretary’s findings and/or order have been filed; it must be approved by the ALJ if the case is before the ALJ or by the ARB if the ARB has accepted the case for review.

• A copy of the adjudicatory settlement must be filed with the ALJ or the ARB as appropriate.
• Approval by the ALJ or ARB is required for the settlement to become effective and final.

Under 1984.111(e), any settlement approved by OSHA, the ALJ, or the ARB constitutes the final order of the Secretary and may be enforced in United States district court pursuant to 1984.113.

• Once approved, the settlement is treated as a final Secretary’s order and parties can seek enforcement in federal court under the enforcement provision in 1984.113.
• Parties should retain the formal approval documentation to demonstrate the settlement’s status as a final order if enforcement is needed.

Under 1984.111(a), if the Assistant Secretary approves a withdrawal, the Assistant Secretary will notify the parties and each party's legal counsel if the party is represented by counsel.

• This written notification ensures all parties and their representatives learn that the complaint has been withdrawn and the approval decision has been made.
• Notification is performed by OSHA, so parties should ensure their representation and contact information are current.

Under 1984.111(b), if the Assistant Secretary withdraws and substitutes new findings or a new preliminary order before any objection is filed, the date of receipt of the substituted findings or order begins a new 30-day objection period.

• Recipients should treat the substituted findings’ receipt date as the start of their new timeline for filing objections under 1984.106.
• Practically, this means parties must monitor for substituted findings to avoid missing the restarted objection deadline.

Under 1984.111(d)(1), OSHA’s approval of an investigative settlement demonstrates OSHA’s consent and thus achieves the consent of OSHA, the complainant, and the respondent without additional ALJ or ARB approval, because the settlement occurs before objections are filed.

• Investigative settlements resolve matters during the investigative phase and do not need adjudicatory approval unless objections are later filed.
• If objections are filed later, the adjudicatory settlement pathway in 1984.111(d)(2) would apply.

Under 1984.111(d)(2), parties must file a copy of any adjudicatory settlement (reached after objections are filed) with the ALJ if the case is before the ALJ, or with the ARB if the ARB has accepted the case for review, and the settlement requires approval by the ALJ or ARB.

• Filing the settlement initiates the approval process by the appropriate adjudicatory body.
• Without ALJ or ARB approval, the adjudicatory settlement cannot become the Secretary’s final order.

Under 1984.111, only a complainant may withdraw a complaint prior to filing objections to the Assistant Secretary’s findings and/or preliminary order; respondents do not have the same unilateral withdrawal right for a complaint, and any withdrawal of objections must be filed in writing with the ALJ or ARB and approved by that body.

• Respondents facing objections or petitions may seek withdrawal of their own filings, but such withdrawals must follow the written-filings-and-approval process in 1984.111(c).
• Withdrawal actions are subject to oversight and approval by OSHA, the ALJ, or the ARB depending on the stage of the case.

Under 1984.111(c), if the ALJ approves the withdrawal of one party’s objections but other objections remain pending, the Assistant Secretary’s findings and/or order do not become final until all objections are resolved or withdrawn; only when no objections remain will the findings and/or order become the final order of the Secretary.

• Parties should track all pending objections because the presence of any remaining objections keeps the matter from becoming final.
• If all objections are withdrawn and approved, the ALJ will convert the findings and/or order into a final Secretary’s order.

Under 1984.111(d) and 1984.111(e), settlements must be submitted for approval according to the investigative or adjudicatory settlement rules to become the final order of the Secretary; once approved, they are enforceable in federal district court under 1984.113.

• Investigative settlements require OSHA approval as described in 1984.111(d)(1).
• Adjudicatory settlements require approval by the ALJ or ARB and must be filed with that body as described in 1984.111(d)(2).
• Approval converts the settlement into a final Secretary’s order that can be enforced under 1984.113.